Search for: "Securities & Exchange Commission v. Topping"
Results 41 - 60
of 418
Sorted by Relevance
|
Sort by Date
4 Jan 2018, 8:32 am
Though some agencies, like the Securities and Exchange Commission, have chosen a soft entry into regulation by first issuing proactive guidance, others, including the Internal Revenue Service (IRS), have opted to go directly into enforcement actions. [read post]
29 Jul 2013, 7:45 am
Securities laws require accurate disclosure of all material information.[3] Rule 10b-5 of the Securities Exchange Commission (SEC) prohibits any person from making “any untrue statement of material fact” or from omitting “a material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading. [read post]
19 Jan 2023, 12:49 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
23 Apr 2018, 3:15 pm
Securities and Exchange Commission, about whether that agency’s administrative law judges are “officers” of the United States under the Constitution’s appointments clause. [read post]
28 Dec 2023, 9:05 pm
Supreme Court’s decision in Dobbs v. [read post]
12 Jun 2018, 9:14 am
I presented price indexing to the Greenspan Commission before the 1983 Social Security Amendments, but the Commission focused only on the short run and failed to deal with the distant future. [read post]
8 Mar 2022, 5:00 am
Supreme Court’s statement in Reiter v. [read post]
18 Jan 2024, 11:13 am
On January 10, 2024, the Securities and Exchange Commission (SEC) announced that global software company SAP had agreed to pay $100M for violations of the Foreign Corrupt Practices Act (FCPA). [read post]
25 Dec 2017, 9:40 pm
The Regulatory Review is pleased to highlight our top fifty regulatory essays of 2017 authored by outside contributors. [read post]
25 Dec 2017, 9:40 pm
The Regulatory Review is pleased to highlight our top fifty regulatory essays of 2017 authored by outside contributors. [read post]
1 Aug 2023, 6:04 am
The court is withholding issuance of its mandate for three months to allow market participants to wind down existing transactions (Cboe Futures Exchange, LLC v. [read post]
26 Dec 2017, 9:30 pm
Supreme Court in Kokesh v. [read post]
2 Jul 2018, 3:39 pm
Securities & Exchange Commission, the U.S. [read post]
30 Nov 2007, 7:33 am
U.S. companies will be allowed once again to exclude proxy access proposals from their corporate ballots, the Securities and Exchange Commission has decided. [read post]
3 Mar 2017, 9:43 am
Only two weeks after his inauguration, he issued an EO titled “Core Principles for Regulating the United States Financial System,” which directs the Treasury Secretary to consult with the heads of financial agencies, including the Commodity Futures Trading Commission and the Securities and Exchange Commission (“SEC”), to find ways to conform U.S. financial regulations, including Dodd-Frank, to the Trump administration’s “Core… [read post]
12 Jun 2012, 6:19 pm
And what better way to top things off, than with a quick update in United States v. [read post]
17 Jan 2008, 6:46 pm
Finally, the Court noted that abuses by secondary actors in these instances can be remedied through state law claims and enforcement actions by the Securities & Exchange Commission. [read post]
29 Jan 2020, 9:26 am
Securities and Exchange Commission and Commodities and Futures Trading Commission broadly defining a swap. [read post]
15 Jan 2008, 7:04 am
” The plot led to a federal indictment against two of Charter’s officers, and a cease and desist order against that company by the Securities and Exchange Commission. [read post]
26 Mar 2007, 8:03 am
The scheme led to a federal indictment of two of Charter's officers and a cease and desist order by the Securities and Exchange Commission. [read post]
